Prequalification Committee Action

As part of the quality based selection process for awarding professional services contracts, INDOT’s Prequalification Committee, as created in 105 IAC 11-2-4 and as appointed by the Commissioner, may consider action affecting a Consultant’s prequalification status. The following guidelines apply to Committee activity:

1. Committee Authority: Pursuant to I.C. 8-23-2-6(a)(2), which allows INDOT to contract with people outside the agency for certain services, and I.C. 8-23-2-12, which allows INDOT to make contracts for professional services of engineers or land surveyors based on competence and qualifications, the Committee may do the following:

a. Consider issues that may reflect a Consultant’s competence or qualifications to perform INDOT work. The Committee may act on issues referred to the Committee by others or brought to the Committee by its members.

b. Investigate, request documents, and interview witnesses and other persons or entities deemed relevant to an issue that may affect a Consultant’s competence or qualifications to perform INDOT work.

c. Act on existing certificates of qualifications or applications for certificates of qualification consistent with these guidelines.

d. Review policies or changes to the Consultant Prequalification Manual.

2. Committee Recommendations to the Commissioner: The Committee may recommend a course of action affecting the Consultant’s prequalification status to the Commissioner. The Commissioner, in the exercise of the Commissioner’s sole discretion, may accept or reject the recommendations of the Committee.

The Prequalification Committee may recommend the Commissioner take any of the following actions:

a. Change in certificate of qualification: The Committee may recommend a change in the certificate of qualification issued to a Consultant based upon the receipt of additional information, including any information on past performance relevant to a Consultant’s competence or qualifications to perform INDOT work.

b. Suspension of a certificate of qualification: The Committee may recommend the suspension of the Consultant’s certificate of qualification for a specified period of time if the Consultant committed an error or omission or if the Consultant’s work is otherwise unsatisfactory, if it is apparent the Consultant has not or will not be able to complete its contracts on time, or if the Consultant has failed to comply with a state or federal law, regulation or rule or an INDOT policy or procedure.

c. Withdrawal of certificate of qualification: The Committee may recommend withdrawal of a certificate of qualification if it administratively determines that the Consultant is no longer active or in existence.

d. Revocation of certificate of qualification: The Committee may recommend the revocation of a certificate of qualification if it finds the Consultant has done any of the following:

i. failed to timely pay or satisfactorily settle any bills due to labor and material on former or existing INDOT contracts;

ii. violated either a state or federal law or regulation or the rules of a state or federal department, board, bureau, agency or commission; iii. defaulted on a contract;

iv. falsified any document required by the department or any agency of the state of Indiana or federal government;

v. failed to perform any part or portion of an existing or previous contract;

vi. failed to submit information, documented explanations or evidence required in the contract documents in a timely manner;

vii. has been debarred by a federal or state agency;

viii. failed to comply with any and all requirements concerning the Disadvantaged Business Enterprise (DBE) or Minority/Women Business Enterprise (M/WBE) programs;

ix. violated an INDOT ethics policy;

x. committed an error or omission as determined by INDOT 3. Notice to the Consultant: The Commissioner or Prequalification Engineer will provide

written notice to the Consultant of any action taken by the Commissioner based on the Committee’s recommendations.

4. Right to Appeal: All actions by the Commissioner based on Committee

recommendations are effective fifteen (15) days after the Consultant receives the

Commissioner’s notice, unless the Consultant exercises its right to appeal under Section 5 below. If the Consultant chooses to appeal the Commissioner’s action, the action is effective after completion of the Appeals Procedure under section 5.

5. Appeals Procedure: A Consultant aggrieved by the decision of the Commissioner based on the Committee’s recommendation in regard to the Consultant’s qualification,

suspension, withdrawal, revocation, or change in either work type or capacity may appeal the Commissioner’s decision. The Appeals Procedure will involve the following:

a. The Consultant will make a written request for an appeal of the decision to the prequalification engineer, with a copy to the Commissioner. INDOT must receive the Consultant’s request for an appeal within fifteen (15) days after the Consultant receives notification of the Commissioner’s decision. The request must include written justification bearing on the Consultant’s qualifications and introducing new information the Committee has not previously considered.

b. In addition, the Consultant may request to appear personally before the Committee.

c. The Committee will consider the written request within thirty (30) days after its receipt. The Committee may request additional information, a personal interview with the Consultant, or both.

d. The Committee will make a recommendation on the outcome of the appeal to the Commissioner.

e. The Commissioner will make a final agency determination regarding the appeal and notify the Consultant in writing of the decision.

If the Consultant fails to follow the appeal procedure set up in this section within the specified time frames, the Consultant will be deemed to have accepted INDOT’s decision as final and deemed to have waived any right to further administrative appeal.

6. Entities Controlled by the Same Owners: A Consultant shall not employ any scheme or device to evade the effect of actions taken by the Committee or the Commissioner as to the Consultant’s prequalification status. The Committee may extend action it or the Commissioner has taken to an entity controlled by certain owners or officers of a Consultant if the Committee determines the extension is necessary to prevent a circumvention of the Committee or Commissioner’s actions.

7. Resubmittal Procedure: A Consultant who is dissatisfied with the Committee or the Commissioner’s decision regarding its prequalification status may at any time after the expiration of ninety (90) days from the date of INDOT’s previous decision request a change or file a new application for qualification.

8. Other Committee Rules and Policies: Other general rules and policies governing Committee procedures will apply to the Committee’s consideration of a Consultant’s prequalification status.

9. Commissioner’s Discretion: Nothing in this policy affects the Commissioner’s discretion to make qualifications-based selections of Consultants for a particular contract or